Remote Jobs
Principal Examiner, Trading Specialist Group (TSG) - All Finra Locations
This job is now closed
Job Description
- Req#: R-007587
Employer Industry: Financial Regulatory Services
Why consider this job opportunity:
- Salary up to $200,200
- Opportunity for career advancement and growth within the organization
- Comprehensive health, dental, and vision insurance
- Immediate participation and vesting in a 401(k) plan with company match
- Tuition reimbursement and many other benefits
- Discretionary bonus in addition to base pay
What to Expect (Job Responsibilities):
- Execute and advise on Market Access Rule (SEC Rule 15c3-5) reviews on examinations of medium to high-risk trading firms
- Evaluate firms' pre-trade financial, erroneous, and regulatory risk management controls
- Demonstrate an understanding of a firm's trading activity, financial, and regulatory risk management controls
- Independently conduct background interviews and maintain ongoing discussions with relevant firm personnel
- Ensure regulatory programs serve departmental goals and FINRA's mission in an efficient and effective manner
What is Required (Qualifications):
- Bachelor's Degree or an equivalent combination of education and experience required
- Significant securities, compliance, or financial regulatory experience
- Advanced knowledge of securities rules and regulations
- Ability to manage time effectively and complete assignments within budgeted timeframes
- Ability to work independently with minimal supervision
How to Stand Out (Preferred Qualifications):
- Advanced degree/certification in Accounting, Finance, Economics, Business Administration, or related fields
- 0-2 years of experience as an Rx Technician or Customer Service Representative in a healthcare-related service
#FinancialRegulation #SecuritiesCompliance #CareerGrowth #CompetitivePay #TuitionReimbursement
We prioritize candidate privacy and champion equal-opportunity employment. Central to our mission is our partnership with companies that share this commitment. We aim to foster a fair, transparent, and secure hiring environment for all. If you encounter any employer not adhering to these principles, please bring it to our attention immediately.
We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.About the company
The best remote jobs for you
Notice
Talentify is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or protected veteran status.
Talentify provides reasonable accommodations to qualified applicants with disabilities, including disabled veterans. Request assistance at accessibility@talentify.io or 407-000-0000.
Federal law requires every new hire to complete Form I-9 and present proof of identity and U.S. work eligibility.
An Automated Employment Decision Tool (AEDT) will score your job-related skills and responses. Bias-audit & data-use details: www.talentify.io/bias-audit-report. NYC applicants may request an alternative process or accommodation at aedt@talentify.io or 407-000-0000.